DFX Intelligence
RIA Intelligence
Firms
SEC-registered investment advisers
One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Fundsmith Investment Services Limited CRD 310498 | Beaux Songes, | asset manager | $25B | 0.0% | 0 | n/a | 0 | 1 |
| Arga Investment Management, LP CRD 153665 | Stamford, CT | asset manager | $25B | 0.0% | 1 | $25B | 0 | 6 |
| Gabelli Funds, LLC CRD 104949 | Rye, NY | asset manager | $25B | 0.0% | 3 | $8.2B | 2 | 4 |
| M•• I••••••••• A•••••••• L•• CRD 169568 | Springfield, MA | asset manager | $25B | 0.0% | 0 | n/a | 1 | 0 |
| D•• A••••••••• G••••• L•••••• CRD 139526 | London, | asset manager | $25B | 0.0% | 0 | n/a | 0 | 0 |
| M•••••••• I••••••••• M••••••••• E••••• L•••••• CRD 284603 | London, | asset manager | $25B | 0.0% | 0 | n/a | 1 | 0 |
| B•••• H•••• I••••••••• L••• CRD 29278 | Rye Brook, NY | independent RIA | $24B | 84% | 20 | $1.2B | 0 | 1 |
| P••• P•••••• P•••••••• I••••••••• L••• CRD 106442 | Newark, NJ | institutional | $24B | 0.0% | 0 | n/a | 15 | 0 |
| F•••• C•••••• A••••••• S••••••• CRD 281958 | Fort Worth, TX | BD affiliated | $24B | 100% | 1,034 | $23.6M | 186 | 0 |
| O••••••••• A•••• M••••••••• L•• CRD 165929 | Indianapolis, IN | institutional | $24B | 0.0% | 0 | n/a | 0 | 0 |
| P••••• A•••• M••••••••• L•••••• CRD 105205 | London, | asset manager | $24B | 0.0% | 0 | n/a | 0 | 0 |
| G• I••••••••• M••••••••• CRD 323648 | Norwalk, CT | asset manager | $24B | 0.0% | 0 | n/a | 0 | 0 |
| M••••• M••••• I••• CRD 110425 | Mason, OH | mixed wealth | $24B | 48% | 11 | $2.2B | 1 | 0 |
| T••••• W••••• I••••••••• M••••••••• CRD 168493 | London, | asset manager | $24B | 0.0% | 0 | n/a | 2 | 3 |
| E•••••• A•••• M••••••••• L•• CRD 297926 | New York, NY | asset manager | $24B | 0.0% | 0 | n/a | 0 | 52 |
| M••••• C•••••• M••••••••• L•• CRD 156855 | Menlo Park, CA | asset manager | $24B | 0.0% | 1 | $24B | 0 | 29 |
| X••••••• L•• CRD 111126 | Philadelphia, PA | institutional | $24B | 0.2% | 1 | $24B | 1 | 0 |
| B••••••••• L•• CRD 322260 | New York, NY | asset manager | $24B | 0.0% | 0 | n/a | 1 | 13 |
| B•• U• R••• E••••• L• CRD 157034 | New York, NY | asset manager | $24B | 0.0% | 0 | n/a | 8 | 82 |
| P••••••••• E••••• P••••••• L••••• CRD 155678 | P•••••••••, RI | asset manager | $24B | 0.0% | 0 | n/a | 4 | 39 |
| P•••••••• F•••••••• P•••••••• L•• CRD 149694 | Austin, TX | institutional | $24B | 0.0% | 11 | $2.2B | 1 | 0 |
| T• R••• P•••• J••••• I••• CRD 290585 | Tokyo, | asset manager | $24B | 0.0% | 0 | n/a | 0 | 0 |
| B••••••••• ••••• L•••••• P••••••••• CRD 111470 | Seattle, WA | other | $24B | 0.0% | 0 | n/a | 6 | 24 |
| P•••• C•••••• M••••••••• L•• CRD 106093 | Boca Raton, FL | asset manager | $24B | 5.7% | 7 | $3.4B | 3 | 2 |
| T•••••••• A•••• M••••••••• L••• CRD 111382 | Singapore, | asset manager | $24B | 0.0% | 0 | n/a | 2 | 0 |
| C•••• A•••• M••••••••• •••• K•••• L•••••• CRD 166615 | H••• K•••, | asset manager | $24B | 0.0% | 0 | n/a | 0 | 1 |
| M•••• F•••••••• A••••••• CRD 142457 | Alpharetta, GA | BD affiliated | $24B | 75% | 284 | $84.1M | 65 | 0 |
| F•• CRD 121658 | Cincinnati, OH | institutional | $24B | 0.7% | 2 | $12B | 2 | 0 |
| I••••••••• F•••••••• P••••••• L•• CRD 150108 | London, | asset manager | $24B | 0.0% | 0 | n/a | 0 | 2 |
| S•••••••• F•••••• CRD 313913 | London, Greater London, | independent RIA | $24B | 53% | 0 | n/a | 0 | 0 |
| A•••••••• CRD 156498 | Menlo Park, CA | asset manager | $24B | 0.0% | 0 | n/a | 4 | 32 |
| S••••••••• I••••••••• L•••••• CRD 173876 | St Helier, | asset manager | $24B | 0.0% | 0 | n/a | 0 | 15 |
| S••••••••• I••••••••• S•••••••• P••• L•• CRD 289335 | S••••••••, | asset manager | $24B | 0.0% | 0 | n/a | 0 | 0 |
| S••••••••• I••••••••• U• L•• CRD 289336 | London, | asset manager | $24B | 0.0% | 0 | n/a | 0 | 0 |
| S••••••••• I••••••••• G• L•••••• CRD 289338 | St Helier, | asset manager | $24B | 0.0% | 0 | n/a | 1 | 0 |
| M•••• C•••••• M••••••••• L• CRD 160188 | New York, NY | asset manager | $24B | 0.0% | 0 | n/a | 2 | 5 |
| H•••••• B••••• P••••••• L•• CRD 110877 | San Francisco, CA | asset manager | $24B | 0.0% | 0 | n/a | 1 | 45 |
| K• I••••••••• M••••••••• L•• CRD 161953 | Manhattan Beach, CA | asset manager | $24B | 0.0% | 0 | n/a | 0 | 26 |
| I••••••••• W••••• C••••••• L•• CRD 284656 | Waltham, MA | independent RIA | $24B | 97% | 473 | $49.8M | 120 | 0 |
| T••••••••• A•••• M••••••••• ••• L• CRD 285791 | New York, NY | asset manager | $23B | 0.0% | 0 | n/a | 0 | 1 |
| L••••••••• I••••••••• M••••••••• C•• L•• CRD 104945 | Boston, MA | institutional | $23B | 1.0% | 0 | n/a | 0 | 0 |
| W•••••• A••••••• L• CRD 106081 | Salt Lake City, UT | asset manager | $23B | 0.9% | 41 | $569M | 0 | 1 |
| O••••• F•••••••• G••••• L•• CRD 105303 | Carmel, IN | independent RIA | $23B | 59% | 50 | $467M | 6 | 48 |
| N•• H•••••• C••••••• L•• CRD 160211 | New York, NY | asset manager | $23B | 0.0% | 0 | n/a | 0 | 0 |
| J• O• H••••• C•••••• M••••••••• L•••••• CRD 138653 | London, | asset manager | $23B | 0.0% | 0 | n/a | 2 | 0 |
| J••••• P••• G•••• L•• CRD 287755 | San Francisco, CA | independent RIA | $23B | 67% | 13 | $1.8B | 3 | 45 |
| E•••••••• G••• M•••••• L• CRD 172249 | New York, NY | asset m•••••• | $23B | 0.0% | 1 | $23B | 7 | 1 |
| C•••••• A••••••• G••••• I•• CRD 112000 | Boston, MA | other | $23B | 0.1% | 6 | $3.8B | 2 | 0 |
| J•••••• I••••••••• C••••••• I••• CRD 117054 | Cincinnati, OH | independent RIA | $23B | 67% | 65 | $354M | 5 | 0 |
| E••••••• T••••• C•••••••• L•• CRD 151197 | Oklahoma City, OK | asset manager | $23B | 0.0% | 0 | n/a | 1 | 0 |
The firm names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.
17,149 advisers match.